CyberscopeTV

About the job

Lloyd Recruitment Services are delighted to be recruiting for a Compliance Monitoring Manager, working for a forward-thinking and highly reputable client. The successful individual will provide compliance support to both Fund and Portfolio Managers, with a focus on monitoring, including both regular and ad-hoc duties. These include: * Support to COO and Head of Compliance & Legal * Provide cost effective cover for other areas within the compliance team i.e. breach reporting / analysis, CASS * Support in-house committees (e.g. Conduct & Policies, Financial Crime) Responsibilities / Deliverables: * Organise Compliance Monitoring Programme, gaining Board agreement * Lead with preparation of monthly written reports, detailing the status of monitoring, issues identified and remedial action recommended * Lead with rolling review of the compliance monitoring programme, to ensure all areas of the business are appropriately monitored; and all changes to regulations are incorporated into the monitoring * Implementation of ongoing monitoring activities as well as the agreed thematic reviews * Identify and risk rate deficiencies and work with line management on remediation plans * Track activities through to completion * Regularly report to the boards on progress * Assist Due Diligence reviews or Third Party outsourced providers – ensuring detailed and meaningful reports are provided to Senior Management * Conduct review, investigation and analysis of breaches * Ensure that all incidents are recorded * Assist in the analysis of the impact and implementation of new regulatory rules and guidelines Requirements: * Relevant qualification in Compliance * Experience of working in Compliance and Financial Crime in the Finance Industry * Experience in Asset Management or Investment Management an advantage * Experience of applying monitoring methodologies / audit methodology within financial organisations * Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions * Able to build and maintain relationships with key business stakeholders of all levels * Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines * Able to walk through processes and procedures and detect possible control weaknesses to target testing appropriately NB: We would like to thank you for your application, however unfortunately due to the volume of applications received, Lloyd Recruitment Services are only able to contact shortlisted applications

Company

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Address

EC4, Old Bailey, Greater London,United Kingdom